SIE: Automatic Exemptions

Taken from our SIE Online Guide

Automatic Exemptions

Broker-dealers prohibited from engaging in business under this rule may qualify for an automatic exemption from the rule if the following three requirements are met:

1. The dealer or advisor discovered the triggering political contribution within four months of the date of the contribution

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: Automatic Exemptions, you might also be interested in:

Series 66 - Joint Account Features

Series 79 - Adjusted EV/EBITDA Ratio

Series 14 - 2.8. Trading Practices

Series 26 - Content Standards

Series 53 - Municipal Securities

Series 22 - 5.2.2. Simplified Employee Pension (SEP) Plans

Series 79 - 3.6. Review of Selected Formulas

Series 65 - Chapter Nine: Regulation of Securities and Issuers and the Powers of the Administrator

Series 51 - Timing of Disclosures

Series 51 - Customers Who Refuse to Provide Suitability Information

Series 14 - 9.1.5. Content Standards

Series 27 - Customer Confirmations

Series 24 - 5.5.2.3.1. Floor Brokers

Series 66 - Assets

Series 24 - 3.11.3. Omitting Prospectus

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I utilized the Solomon SIE and Series 6 Top-Off study guide package. I passed on the first time by following the exact recommendations. While the test is different than the study exam questions it covers the content in a detailed way preparing you to successfully pass the exam. Great product and customer service!

Michael Gehrich, Allstate Insurance, Ft Myers, FL

Soloman's practice exams are a powerful tool! Just passed SIE - will be looking to use their other content for the top-off exams very soon. Thank you!

John S. Clearing Firm Charlotte, NC

I passed the SIE with the help of the practice exams from this course. The practice exams from this course seemed a bit needlessly difficult compared to the actual exam I took. While it prepared me well, it caused a lot of unnecessary stress. Don’t over do it on the practice exams.

Christian Heer, Merrill lynch . Los angeles, CA

Thank you so much Solomon Exam Prep. I took the SIE exam today and passed it the first try. Couldn't have done it without your help. Thank you again.

Cathy Villano, Eastchester, NY

I am so happy to announce that I passed the SIE on July 1st! Thank you, Solomon the book, videos, and exam simulator were the best! I went to the test with confidence, and I must say I felt like I was prepared for every question. I had more than enough time to complete all the questions and reviewed my answers. Series 6, here I come! Let's Go, Solomon!

Leanene Carriere, Nameloc Inc. Houston, TX

Solomon has been hugely helpful to me. In 2022, they helped me prepare for the SIE, Series 63, and Series 79 exams, and I passed all 3 on the first try. I give huge credit to their focused materials and suggested timelines for keeping me on track!

William Windham, Solebury. Brooklyn, NY.